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FCA Regulation & Wind-Down Planning - Are You Prepared?
MBL Seminars Limited
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Professional Training
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22/09/2025
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London
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Classroom
A wind-down plan is compulsory for all regulated firms, not just those in financial distress and the regulator requires all...
FCA Consumer Duty
Eureka Financial
|
Professional Training
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From 850 GBP
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24/01/2025
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Multiple (2)
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Virtual Classroom, In Company
This practical 1 day virtual live course is delivered by a senior financial services professional with over 20 years of...
CASS - Managing Client Money and Assets
Eureka Financial
|
Professional Training
5.0
(4)
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From 895 GBP
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04/12/2024
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Multiple (3)
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In Company, Classroom, Virtual Classroom
The main objective of the CASS regulation is to provide adeqate protection for clients. The FCA set up high expectations...
Foundation in FCA Regulation
Corporate Training Partnerships
|
Professional Training
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From 745 GBP
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Multiple (3)
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Classroom, Virtual Classroom, In Company
This focused course will provide a clear and easily digestible overview of the new FCA regulatory framework (touching also on...
Understanding The New Consumer Duty for FCA regulated Firms (Public Course)
Corporate Training Partnerships
|
Professional Training
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From 749 GBP
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Multiple (2)
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Classroom, Virtual Classroom
With the FCA's Consumer Duty coming into force on 31 July this year, staff need to be ready and on...
Board Reporting for FCA and Dual Regulated Firms (Live Online)
Corporate Training Partnerships
|
Professional Training
5.0
(1)
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From 425 GBP
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Multiple (2)
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Classroom, Virtual Classroom
The Boards of financial institutions are under increasing pressure to respond to difficult questions about how they provide oversight over...
Board Reporting for FCA and Dual Regulated Firms (Public Course)
Corporate Training Partnerships
|
Professional Training
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From 425 GBP
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Multiple (2)
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Classroom, Virtual Classroom
The Boards of financial institutions are under increasing pressure to respond to difficult questions about how they provide oversight over...
Achieving an Effective & Efficient CASS Audit
FourthLine Learning
|
Professional Training
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From 799 GBP
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London
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Classroom
Although the FCA has been conducting CASS audits for several years at this point, firms still face many challenges whilst...
Risk Based Compliance Monitoring under the FCA
Corporate Training Partnerships
|
Professional Training
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From 745 GBP
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Multiple (3)
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Classroom, Virtual Classroom, In Company
Today, Compliance managers are under more pressure than ever to make sure they are targeting risks, and resources, as effectively...
Client Money & Assets (the CASS Regime) - Identify, Assess & Reduce Risks
BPP Professional Education
|
Professional Training
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From 650 GBP
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05/12/2024
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Multiple (2)
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Classroom, Self-Paced Online
Overview How client money and assets are handled by FCA-regulated firms is a core focus for the Financial Conduct Authority,...
Foundation in FCA Regulation (Live Online) - In House Training
Corporate Training Partnerships
|
Corporate Training for Teams
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Multiple (2)
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In Company, Virtual Classroom
This focused course will provide a clear and easily digestible overview of the new FCA regulatory framework (touching also on...
Embedding a Strong CASS Culture & Governance
FourthLine Learning
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Professional Training
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From 799 GBP
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London
-
Classroom
A common theme across firms which have been fined for CASS failings is weak CASS culture & governance. This theme...
Understanding The New Consumer Duty for FCA regulated Firms (Public Course) - In House Training
Corporate Training Partnerships
|
Corporate Training for Teams
-
Multiple (2)
-
In Company, Virtual Classroom
With the FCA's Consumer Duty coming into force on 31 July this year, staff need to be ready and on...
Board Reporting for FCA and Dual Regulated Firms (Live Online) - In House Training
Corporate Training Partnerships
|
Corporate Training for Teams
-
Multiple (2)
-
Virtual Classroom, In Company
The Boards of financial institutions are under increasing pressure to respond to difficult questions about how they provide oversight over...
Board Reporting for FCA and Dual Regulated Firms (Public Course) - In House Training
Corporate Training Partnerships
|
Corporate Training for Teams
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Multiple (2)
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Virtual Classroom, In Company
The Boards of financial institutions are under increasing pressure to respond to difficult questions about how they provide oversight over...
Getting CASS Right | Leading from the Top
FourthLine Learning
|
Professional Training
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From 1,600 GBP
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Multiple (3)
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Classroom
With continued focus from the FCA and the ever-expanding scope of the Senior Managers’ and Certification Regime (SMCR), the importance...
Risk Based Compliance Monitoring under the FCA (Live Online) - In House Training
Corporate Training Partnerships
|
Corporate Training for Teams
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This course results in CPD hours
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Multiple (2)
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Virtual Classroom, In Company
Today, Compliance managers are under more pressure than ever to make sure they are targeting risks, and resources, as effectively...
Embedding CASS Culture through Robust Governance
FourthLine Learning
|
Professional Training
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From 799 GBP
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London
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Classroom
Focussed across the lines of defence, this workshop aims to provide a practical and in-depth knowledge base around what CASS...
Cyber Risk & Security and the FCA: A primer for Compliance and Risk staff
Corporate Training Partnerships
|
Professional Training
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From 445 GBP
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Multiple (2)
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Virtual Classroom, In Company
Cyber risk management and security are generally accepted to existential risks for all financial services firms, but are often left...
Conduct Rules and the Consumer Duty - Best Practice Approaches
Corporate Training Partnerships
|
Professional Training
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From 445 GBP
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Multiple (2)
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Virtual Classroom, In Company
With the Consumer Duty implemented from 1st August, it is imperative that all staff throughout the organisation are fully aware...
Displaying 1-20 of 38 results
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